Personnel Hong Kong SFC License Details (ID 99173)

Personnel Hong Kong SFC License Details (ID 99173)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CMB INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2022-03-21	2023-06-19
CMB International Securities Limited	Rep	Advising on securities	2022-01-21	2023-06-19
	Rep	Dealing in securities	2022-01-21	2023-06-19
	Rep	Dealing in securities	2016-03-03	2016-04-13
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on futures contracts	2013-07-26	2015-09-02
	Rep	Dealing in futures contracts	2013-07-26	2015-09-02
	Rep	Advising on securities	2010-03-29	2015-09-02
	Rep	Dealing in securities	2010-03-29	2015-09-02
CMB International Capital Holdings Corporation Limited	Rep	Dealing in securities	2009-06-15	2009-10-07